DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Advisor at R•• A••••••• L••
STAMFORD, CT
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| R•• A••••••• L•• | Independent wealth | Jul 11, 2022 | n/a | yes | STAMFORD, CT | Current employment |
| G•• F•••••••• S••••••••• L•• | Former SEC adviser | Nov 1, 2016 | Jul 15, 2022 | no | West Hartford, CT | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| G•• F•••••••• S••••••••• L•• | R•• A••••••• L•• | Jul 15, 2022 | Jul 11, 2022 | -4 | Firm change | RIA to RIA |
| W•••• F•••• A••••••• | G•• F•••••••• S••••••••• L•• | Aug 2, 2016 | Nov 1, 2016 |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 11025:284758:CT:2016-08-02 | Aug 2, 2016 | Nov 1, 2016 | WEST HARTFORD, CT | Firm change |
| W•••• F•••• A••••••• | Wirehouse | Jun 18, 2014 | Aug 2, 2016 | no | WEST HARTFORD, CT | Previous registration |
| W•••• F•••• A••••••• | Wirehouse | Apr 30, 2012 | Jun 18, 2014 | no | HARTFORD, CT|WEST HARTFORD, CT | Previous registration |
| M•• F•••••••• S•••••••• I••• | Former SEC adviser | Sep 11, 2009 | Dec 1, 2010 | no | GLASTONBURY, CT | Previous registration |
| 91 |
| Firm change |
| Other |
| W•••• F•••• A••••••• | W•••• F•••• A••••••• | Jun 18, 2014 | Jun 18, 2014 | 0 | Channel change | Wirehouse to wirehouse |
| M•• F•••••••• S•••••••• I••• | W•••• F•••• A••••••• | Dec 1, 2010 | Apr 30, 2012 | 516 | Firm change after gap | Other |